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J.p. Morgan Securities LLC CRD 79
$430B regulatory AUM 407,036 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-06-02 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Plano | TX | 02/2015 | 05/2017 |
| Wells Fargo Clearing Services, Llc | Plano | TX | 10/2015 | 05/2017 |
| J.P. Morgan Securities Llc | Dallas | TX | 05/2017 | Present |
| Jpmorgan Chase Bank, N.A. | Dallas | TX | 05/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 2015-12-03 |
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